MH
Michele M. Horton
Some features on this profile are disabled
CRD#: 1032878
MH
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Michele Marie Horton, who also goes by Michele M Lewis, Michele Marie Lewis, was a registered financial professional .
Michele is a previously registered financial professional and started their career in finance in 1983. Michele had worked at 10 firms and has passed the Series 65, Series 63, Series 6TO, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Michele M Lewis | Michele Marie Lewis
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
1. FRONTIER WEALTH MANAGEMENT, INVESTMENT RELATED, 1625 N. WATERFRONT PARKWAY, SUITE 150, WICHITA, KS 67206, FINANCIAL PLANNING/ INVESTMENTS, RIA, POSITION: WEALTH ADVISOR, START DATE: 04/02/2015, 50 HOURS DEVOTED A MONTH, 33 HOURS DEVOTED DURING SECURITIES TRADING HOURS, DUTIES: PLANNING, INVESTING, ASSET ALLOCATION, LENDING, LIFE INSURANCE.
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Past
August 19, 2022 - May 1, 2023
CAPTRUST
RIA
CRD#: 175112
Wichita, KS
Past
August 19, 2022 - May 1, 2023
CAPFINANCIAL SECURITIES, LLC.
BD
CRD#: 126291
Wichita, KS
Past
May 12, 2015 - August 19, 2022
PURSHE KAPLAN STERLING INVESTMENTS
BD
CRD#: 35747
Wichita, KS
Past
April 2, 2015 - October 21, 2022
FWM LEGACY, LLC
RIA
CRD#: 144344
WICHITA, KS
Past
January 2, 2008 - April 22, 2015
UBS FINANCIAL SERVICES INC.
RIA
CRD#: 8174
WICHITA, KS
Past
January 2, 2008 - April 22, 2015
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
WICHITA, KS
Past
November 30, 2007 - January 2, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
WICHITA, KS
Past
November 30, 2007 - January 2, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
WICHITA, KS
Past
August 27, 2003 - December 10, 2007
UBS FINANCIAL SERVICES INC.
RIA
CRD#: 8174
WICHITA, KS
Past
February 2, 2001 - December 10, 2007
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
WICHITA, KS
Past
October 27, 2000 - May 10, 2001
PIM FINANCIAL SERVICES, INC.
BD
CRD#: 10547
SAN MARCOS, CA
Past
January 12, 1999 - May 1, 1999
A. G. EDWARDS & SONS, INC.
BD
CRD#: 4
ST. LOUIS, MO
Past
April 28, 1998 - July 23, 1998
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
WEEHAWKEN, NJ
Past
May 31, 1994 - January 12, 1998
GEORGE K. BAUM & COMPANY
BD
CRD#: 36354
KANSAS CITY, MO
Past
May 9, 1991 - May 31, 1994
GKB, INC.
BD
CRD#: 350
KANSAS CITY, MO
Past
August 24, 1983 - March 6, 1991
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
NEW YORK, NY
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
CA
CAPTRUST
1776 ADVISOR GROUP | WINDSOR FINANCIAL GROUP | WELCH HORNSBY, INC. | WEALTH COVENANT GROUP LLC | WATERMARK ASSET MANAGEMENT, INC. | TRUTINA FINANCIAL | TRUSTCORE FINANCIAL SERVICES, LLC | TRUNORTH WEALTH PARTNERS, LLC | THE JOHNSTON GROUP | STRATEGIC ADVISOR GROUP | STEWARDSHIP FINANCIAL ADVISORS, LLC | SOUTHERN WEALTH MANAGEMENT LLP | SOUTH TEXAS MONEY MANAGEMENT, LTD. | SHINE WEALTH PARTNERS | RINET COMPANY, LLC | REYNOLDS INVESTMENT MANAGEMENT INC | QUANTITATIVE ADVANTAGE, LLC | PWA WEALTH MANAGEMENT | PORTFOLIO EVALUATIONS, INC. | PARKER, CARLON & JOHNSON, INC. | OMEGA WEALTH PARTNERS, INC. | NEW MARKET WEALTH MANAGEMENT, LLC | NACHMAN NORWOOD & PARROTT, INC. | MRA ASSOCIATES | MORTON WEALTH MANAGEMENT LLC | MONROE VOS CONSULTING, INC. | MCQUEEN BALL & ASSOCIATES LLC | LAKESIDE WEALTH MANAGEMENT GROUP, LLC. | KNOX CAPITAL ADVISORS LLC | KAIROS PRIVATE WEALTH, INC | J.H. ELLWOOD & ASSOCIATES, INC. (ELLWOOD) | INTRUST FIDUCIARY GROUP | GENOVESE BURFORD & BROTHERS WEALTH AND RETIREMENT PLAN MGMT, LLC | FRONTIER WEALTH MANAGEMENT, LLC | FREEDOM 401K | FOUNTAIN FINANCIAL ASSOCIATES, INC. | FCE GROUP | FAMILY OFFICE RISK ADVISORS | ENGRAVE WEALTH PARTNERS LLC | DEFINED CONTRIBUTION ADVISORS INC OR DCADVISORS | DAVIDSON & GARRARD INC | DANDA TROUVE INVESTMENT MANAGEMENT, INC. | CRESCENT CAPITAL CONSULTING, LLC | COVENANT MULTI-FAMILY OFFICES, LLC (COVENANT) | CORNERSTONE CAPITAL ADVISORS | COLUMN CAPITAL ADVISORS, LLC | COBBLESTONE CAPITAL ADVISORS, LLC. | CATAWBA CAPITAL MANAGEMENT INC | CAROLINAS WEALTH CONSULTING LLC | CAPTRUST FINANCIAL ADVISORS | CAPTRUST ADVISORS LLC | CAPTRUST | CAPFINANCIAL PARTNERS, LLC | CAMPBELL WEALTH MANAGEMENT, INC. | CAMMACK RETIREMENT ADVISORS, LLC | BOSTON FINANCIAL MANAGEMENT LLC | AEVITAS WEALTH MANAGEMENT, INC.
CRD#: 175112 / SEC#: 801-62193
RIA
Registered Investment Advisory firm - (7/11/2003 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
This advisor is not registered in any state.
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Current Firm
CA
CAPTRUST
1776 ADVISOR GROUP | WINDSOR FINANCIAL GROUP | WELCH HORNSBY, INC. | WEALTH COVENANT GROUP LLC | WATERMARK ASSET MANAGEMENT, INC. | TRUTINA FINANCIAL | TRUSTCORE FINANCIAL SERVICES, LLC | TRUNORTH WEALTH PARTNERS, LLC | THE JOHNSTON GROUP | STRATEGIC ADVISOR GROUP | STEWARDSHIP FINANCIAL ADVISORS, LLC | SOUTHERN WEALTH MANAGEMENT LLP | SOUTH TEXAS MONEY MANAGEMENT, LTD. | SHINE WEALTH PARTNERS | RINET COMPANY, LLC | REYNOLDS INVESTMENT MANAGEMENT INC | QUANTITATIVE ADVANTAGE, LLC | PWA WEALTH MANAGEMENT | PORTFOLIO EVALUATIONS, INC. | PARKER, CARLON & JOHNSON, INC. | OMEGA WEALTH PARTNERS, INC. | NEW MARKET WEALTH MANAGEMENT, LLC | NACHMAN NORWOOD & PARROTT, INC. | MRA ASSOCIATES | MORTON WEALTH MANAGEMENT LLC | MONROE VOS CONSULTING, INC. | MCQUEEN BALL & ASSOCIATES LLC | LAKESIDE WEALTH MANAGEMENT GROUP, LLC. | KNOX CAPITAL ADVISORS LLC | KAIROS PRIVATE WEALTH, INC | J.H. ELLWOOD & ASSOCIATES, INC. (ELLWOOD) | INTRUST FIDUCIARY GROUP | GENOVESE BURFORD & BROTHERS WEALTH AND RETIREMENT PLAN MGMT, LLC | FRONTIER WEALTH MANAGEMENT, LLC | FREEDOM 401K | FOUNTAIN FINANCIAL ASSOCIATES, INC. | FCE GROUP | FAMILY OFFICE RISK ADVISORS | ENGRAVE WEALTH PARTNERS LLC | DEFINED CONTRIBUTION ADVISORS INC OR DCADVISORS | DAVIDSON & GARRARD INC | DANDA TROUVE INVESTMENT MANAGEMENT, INC. | CRESCENT CAPITAL CONSULTING, LLC | COVENANT MULTI-FAMILY OFFICES, LLC (COVENANT) | CORNERSTONE CAPITAL ADVISORS | COLUMN CAPITAL ADVISORS, LLC | COBBLESTONE CAPITAL ADVISORS, LLC. | CATAWBA CAPITAL MANAGEMENT INC | CAROLINAS WEALTH CONSULTING LLC | CAPTRUST FINANCIAL ADVISORS | CAPTRUST ADVISORS LLC | CAPTRUST | CAPFINANCIAL PARTNERS, LLC | CAMPBELL WEALTH MANAGEMENT, INC. | CAMMACK RETIREMENT ADVISORS, LLC | BOSTON FINANCIAL MANAGEMENT LLC | AEVITAS WEALTH MANAGEMENT, INC.
CRD#: 175112 / SEC#: 801-62193
RIA
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Contact information
Main Address
4208 Six Forks Rd Suite 1700, Raleigh, NC 27609
Mailing Address
Phone number
(919) 870-6822
Established
Firm type
Fiscal year end
# of Employees
1,723
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 127,387 |
| AUM (Assets Under Management) | $ 1,083,051,008,644 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/17/2025 | ||
| 10/25/2024 | ||
| 01/24/2024 | ||
| 01/03/2023 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
